| 16-01961 | 10/02/2017 | Claimant(s): Kamel Kazan
Claimant Lawyers(s): David T. Shivas
Respondent(s): Brian Langan, Morgan Stanley, Patrick Borrelli
Respondent Lawyers(s): Theodore Krebsbach
Arbitrator(s): Kip C. Lubcke, Kenneth J. Horowitz, James F. Rohrman
Hearing Site: Newark, NJ
|  | Expungement |
| 17-00478 | 08/23/2017 | Claimant(s): Ameriprise Financial Services.
Claimant Lawyers(s): Michael S. Taaffe
Respondent(s): Anthony Marino
Respondent Lawyers(s): Anthony Joseph Marino
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 16-00639 | 12/27/2016 | Claimant(s): Wells Fargo Advisors
Claimant Lawyers(s): Alan S. Rafterman
Respondent(s): Nicole Montecalvo, Laural Lane
Respondent Lawyers(s): Nicole Montecalvo
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $0 |
| 16-01186 | 08/18/2016 | Claimant(s): Morgan Stanley, Morgan Stanley Smith Barney FA Notes
Claimant Lawyers(s): Kenneth M. Murray
Respondent(s): Manoj Pataudi Mudgal
Respondent Lawyers(s): Manoj Pataudi Mudgal
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 16-00727 | 08/17/2016 | Claimant(s): UBS Financial Services Inc.
Claimant Lawyers(s): Frank J. Vitolo
Respondent(s): Ronald Cole
Respondent Lawyers(s): Ronald Scott Cole
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | |
| 15-01053 | 06/14/2016 | Claimant(s): J.P. Morgan Securities, JPMorgan Chase Bank, N.A.
Claimant Lawyers(s): Leonard Weintraub
Respondent(s): Jason Meyer, Morgan Stanley, Lori Rabinowitz, Mead Briggs, Michael Pudlak, Michael Reynolds, Steven Christensen
Respondent Lawyers(s): Jonathan C. Thau, Thomas J. Momjian
Arbitrator(s): Kenneth J. Horowitz, Leo J. Karwejna, Sirena Terr
Hearing Site: Newark, NJ
| | |
| 14-01573 | 10/30/2015 | Claimant(s): Morrisa Schiffman
Claimant Lawyers(s): Seth E. Lipner
Respondent(s): Morgan Stanley & Co.
Respondent Lawyers(s): Raul Sanchez
Arbitrator(s): Kenneth J. Horowitz, Martin R. Cramer, Paul Allan Massaro
Hearing Site: Newark, NJ
| | $95,633 |
| 13-02364 | 09/18/2015 | Claimant(s): Diane Willis
Claimant Lawyers(s): Diane Willis
Respondent(s): Morgan Stanley
Respondent Lawyers(s): Andrew E. Gelfand
Arbitrator(s): Kenneth J. Horowitz, Joseph H. Cerame, Mae A. Brudner
Hearing Site: Newark, NJ
| | $0 |
| 14-03104 | 04/02/2015 | Claimant(s): Martin and Carole Gerstenbluth
Claimant Lawyers(s): Martin Gerstenbluth
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): John Starnes Esq.
Arbitrator(s): Kenneth J. Horowitz
Hearing Site: Newark, NJ
| | $38 |
| 13-01125 | 02/10/2015 | Claimant(s): Ned Gerstman, Ned Gerstman Ltd POA for Ethan Gerstman
Claimant Lawyers(s): Edward H. Glenn
Respondent(s): UBS Financial Services Inc.
Respondent Lawyers(s): Charles J. Weinstein
Arbitrator(s): Piedad A. Bernikow, Kenneth J. Horowitz, Joseph H. Cerame
Hearing Site: Newark, NJ
| | Expungement |
